ACTION RESEARCH PRINCIPLES AND METHODS FOR IDENTIFICATION AND SOLVING COMMUNITY PROBLEMS

1. ACTION RESEARCH PRINCIPLES ANDMETHODS FOR IDENTIFICATION AND SOLVING COMMUNITY PROBLEMS DR. MKPADO, M. (PhD –NIG) DEPARTMENT OF AGRICULTURAL ECONOMICS AND EXTENSION FACULTY OF AGRICULTURE FEDERAL UNIVERSITY OYE-EKITI, NIGERIA

2. Objectives of the Lecture • 1. To introduce, improve understanding and appreciation of action research as one of the new areas in social science research methods which is very useful in policy debate on governance, community development and social policy as well as programme implementation.

3. INTRODUCTION • Why make a case for action research (AR)? • Top down vs. bottom up approach to development issues • Poor development, conflict of interest, poor acceptance and participation, destruction of government project and et c. • Few quotations, showing importance of AR • “If you want it done right, you may as well do it yourself.” (O’Brien, 1998). • Action research (AR) allows you to supervise. Since you cannot do every thing/ all things by yourself • “Men cannot be developed. They can only develop themselves” (Julius Nyerere, GTZ, 2003). • AR allows you to help people develop themselves ie teaching them how to fish and not feeding them with fish

4. Some organization interested in AR • International Education in Action Research GTZ (Deutsche Gesellschaft für Technische Zusammenarbeit-Germany) Training and Action Research in Family Health and Family Planning project; HIV/AIDS Programme • Partnership for Africa Social and Governance Research (PASGR-Nairobi Kenya) • World Health Organization-UNICEF-immunization project • United Nations Economic Commission for Africa (UNECA) • Africa Technology Policy Studies Network (ATPSNairobi) • Community Based Monitoring Systems (Poverty and Economic Policy Network, Canada • and et c.

5. Some organization interested in AR. Cont • UNECA -Innovation Prize for Africa • Prize award of $150,000 USD to winners who deliver market-oriented solutions for African-led Development • First price $100,000 , Second price $50,000 • Strategy/Approach for selection of winners • Innovative Solutions • Participationand local ownership • Measurable Results • Transparent Processes AIM: To Recognize Innovations that Unlock African Potentials (recall Julius Nyerere, GTZ, 2003….)

6. UNECA -Innovation Prize for Africa 2013 to Recognize Innovations that Unlock African Potential • At an event to be organized by the UN Economic Commission for Africa (ECA) and African Innovation Foundation (AIF), researchers, entrepreneurs and innovators  will be invited to propose projects that unlock new African potential under one of five categories which include: • 1) agriculture and agribusiness; • 2) ICT applications; • 3) health and wellbeing; • 4) environment, energy and water; and • 5) manufacturing and services industries.  • NB: there is no age limit to this competition; EFCC Free

7. Definition of Action Research • Action research is viewed as a participatory, democratic process concerned with developing practical knowing (know-how) in the pursuit of worthwhile human purposes. • It seeks to bring together action and reflection, theory and practice, in participation with others, in the pursuit of practical solutions to issues of pressing concern to people, and more generally the flourishing of individual persons and their communities (Reason & Bradbury, 2006, p. 1)

8. Some concepts associated with AR Action research has been conceived/ known by many other names: • Participatory research • Collaborative inquiry • Emancipatory research • Action learning • Contextual action research [ All of these are variations on a theme]. • Put simply, action research is “learning by doing” - a group of people identify a problem, do something to resolve it, see how successful their efforts were, and if not satisfied, try again (Module six: Action research PASGR). • PASGR is giving much emphasis on AR • In PASGR’s composite advanced research course called Multi-Method Research Course, AR is one of the major topics that is thought for three days.

9. The cycle of Action Research Source: Module six: Action research PASGR , MacIsaac, 1995 , O’Brien, 1989

10. The cycle of Action Research Cont. • Participatory Action Research is a continuous cycle in which insiders and outsiders together decide what needs to be researched, design the research, determine what will be measured and how; collect the necessary data/information and implement a course of action. • The information and output are then put into practical applications or used to identify new research ideas and actions. • Action Research deals with formative evaluation • It is opposed to summative evaluation • FUOYE academic staff have to mold students with AR • Also directors and head of units have to mentor staff with AR

11. The cycle of Action Research Cont. • Turning or making the people involved to become co- researchers because people learn best, and more willingly apply what they have learned, when they do it themselves. • It also has a social dimension - the research takes place in real-world situations, and aims to solve real problems (Module six: Action research PASGR)

12. Roles/functions of action researcher • Action Researchers must be a good: • Planner and leader • Catalyzer and facilitator (thermostatthermometer) • Teacher and designer • Listener and observer and a Learner • Synthesizer and reporter

13. Challenges of action researchers:1. change of social structure Source: PASGR Module 6

14. Challenges of action researcher cont. • 2. Mobilization of people and encouraging participation • Participation is a very difficult concept • Self motivation and mobilization of others • Motivation of the people for participation • Give reasons why!, discuss the benefits and risks of the project • Discuss approaches to the issues • Encourage Functional participation • Participation by interaction • Participation by sharing of information • Participation by consultation • Passive participation should be minimum eg from dignitaries • No participation should not be encouraged

15. Principles and Methods • Principles by Winter (1989) • Reflexive (premeditated) critique • Dialectical critique • Collaborative Resource • Risk(s) • Plural Structure • Theory Practice Transformation Peace and conflict resolutions

16. Action Research Principles Cont. 1) Reflexive (premeditated) critique source of information • An account of a situation, such as notes, transcripts or official documents, will make implicit claims to be authoritative, i.e., it implies that it is factual and true. • Truth in a social setting, however, is relative to the teller. • An orator (a pompous speaker ) can carry you away ! • The principle of reflective critique ensures people reflect on issues and processes and make explicit the interpretations, biases, assumptions and concerns upon which judgments are made (O’Brien, 1989 • . • In this way, practical accounts can give rise to theoretical considerations.

17. Action Research Principles Cont • 2) Dialectical critique (investigation of truth through discussion and scrutinising) Reality, particularly social reality, is consensually validated, or shared through language by mutual consent. Phenomena or the paradigms can be conceptualized in dialogue, therefore a dialectical critique is required to understand the set of relationships both between the phenomenon and its context, and between the elements constituting the phenomenon. The key elements to focus attention on are those constituent elements that are unstable, or in opposition to one another. These are the ones that are most likely to create changes.

18. Action Research Principles Cont 3) Collaborative Resource • Participants are co-researchers. • The principle of collaborative resource presupposes that each person’s ideas are equally significant as potential resources for creating interpretive categories of analysis, negotiated among the participants. • It strives to avoid the skewing of credibility stemming from the prior status of an idea-holder (the researcher). • Collaborative Resources (materials and human resources)are needed in solving the problem • Sources of Resources- individual, community, government(s), development partners (Donors)

19. Action Research Principles Cont • 4. Risk: The change process potentially threatens all previously established ways of doing things, thus AR creates psychic fears among the practitioners (O’Brien, 1989). • One of the more prominent fears comes from the risk to ego stemming from open discussion of one’s interpretations, ideas, and judgments. • Initiators of action research will use this principle to allay others’ fears and invite participation by pointing out that they, too, will be subject to the same process, and that whatever the outcome, learning will take place.

20. Action Research Principles Cont • 5) Plural Structure • The nature of the research embodies a multiplicity of views, commentaries and critiques, leading to multiple possible actions and interpretations. • This plural structure of inquiry requires a plural text for reporting. • This means that there will be many accounts made explicit, with commentaries on their contradictions, and a range of options for action presented. • A report, therefore, acts as a support for ongoing discussion among collaborators, rather than a final conclusion of fact.

21. Action Research Principles Cont • 6) Theory, Practice, Transformation • For action researchers, theory informs practice, practice refines theory, in a continuous transformation. • Recall that in the definition of theory, time is a factor • In any setting, people’s actions are based on implicitly held assumptions, theories and hypotheses, and with every observed result, theoretical knowledge is enhanced. • The two are intertwined aspects of a single change process. • It is up to the researchers to make explicit the theoretical justifications for the actions, and to question the bases of those justifications. • The ensuing practical applications that follow are subjected to further analysis, in a transformative cycle that continuously alternates emphasis between theory and practice.

22. Methods • Action research employs a number of tools (Observation, Interviews, Key Informant Interviews (KIs), Focus Group Discussion, Matrixes, Rankings, Photography, Score Cards, etc) • Observation, Interviews, KIs are very important • The fundamental questions normally addressed by qualitative research are the ones normally concerned with social issues or with individual experience. • People’s main words tell us a lot about their own experience and meanings • In depth understanding of the experiences/phenomenon • Better understanding of the social structures

23. Methods cont. Focus group discussion Source: Module six: Action research PASGR

24. Focus group discussion by segments of a community to develop performance score card Source: World Bank 2003

25. Visioning: Women draw their vision for better community with H2O, forests, better hygiene etc Source: Module six: Action research PASGR

26. Visioning- imagine how it can be • It can be an indication of how much the community is affected in vivid terms (hopelessness and opportunism) • Good for those grossly affected • It can be used for evaluation just like other methods (visions before and visions after). • Vision how you want FUOYE to be in the next 10 years • Vision how you want Your Faculty to be in the next 10 years • Vision how you want yourself/family to be in the next 5 years; 10 years • Now draw strategies for achieving the vision

27. A vision of a standard class room for FUOYE

28. Mapping Source: Module six: Action research PASGR

29. Mapping Cont. • The can easily be used for resources available at community level • The distribution of the resources • The changes that have happened to those resources over time • It is used in planning farmstead • GIS mapping: eg mapping of University farm, etc • Building of physical structures in FUOYE needs inputs from staff who will be using the structures eg • Laboratories, Faculty complexes, Lecture Halls etc

30. Photography: From where we are to where we are going

31. Photography:From where we are to where we are going

32. Photography: From where we are to where we are going cont. • Family planning • Nutritional status of children less than five years via anthropometric indicators • Agricultural development and improved production eg • Maize, yams, rice, catfish, grass cutter, • Storage methods, processing methods, • Poor working vs. Good working environments

33. Interviews • Key informant interviews • Good for generation of expert views • The can be useful in understanding individual experiences • In-dept interviews • Understanding individual experiences from lay perspectives • In depth knowledge on structures and systems

34. Matrixes and Ranking Source: Module six: Action research PASGR

35. Matrixes and Ranking Cont.

36. Matrixes and pair wise ranking Source: PASGR Module 6

37. THE COMMUNITYSCORE CARDPROCESS Input Tracking Scorecard Performance Scorecard Self - Evaluation Scorecard Interface Meeting Score cards Source: World bank 2003

38. Difference between Community Scorecards and Citizen Report Cards Source: World Bank 2003

39. The community score card approach • Is a tool for Participatory Monitoring and evaluation • It encourages Accountability and Community Empowerment • Hybrid of – social audit and citizen report card • Emphasis is on the ‘Process’ not just ‘scorecard’ • Emphasis on immediate feedback and reform • Flexible and adaptive approach – no one way to implement it

40. Community Score Card Methodology Allows for these: • Tracking of inputs or expenditures • (e.g. availability of Drugs, fertilizers, seeds, water etc) • Monitoring of the quality of services/projects • Generating benchmark performance criteria that can be used in resource allocation and budget decision • Comparison of performance across facilities/districts • Mechanisms of direct feedback between providers and users • Building local capacity • Strengthening citizen voice and community empowerment. • Measuring level of participation or acceptance of a programme

41. Stages in the Community Scorecard Process Cont • 1. Preparatory groundwork • 2. Developing the input tracking scorecard • In business environment survey, infrastructures becomes inputs • 3. Developing the performance scorecard • 4. Developing the self-evaluation scorecard • 5. The Interface meeting • 6. Follow-up and institutionalization

42. Preparatory Groundwork for score card • Identification of Scope • - e.g. District, service, sector, project, etc. • Preliminary Stratification of Community eg village units • Breakdown by Gender/Ethnicity/Occupation/Peer groups • Breakdown by Usage/Supply • Breakdown by Poverty (Poverty Mapping) • Breakdown by Type of Investment • Mobilize Community – ensure participation (particularly of women, Youth) • (Field Visits, Awareness Campaign, Advocacy…) • Logistics • Travel, Materials – papers, pencils, Pen Megaphone/Blackboard…

43. Input tracking score card

44. Focus group discussion by segments of a community to develop performance score card Source: World Bank 2003

45. Some Key Points in the Methodology of performance score card • Four stages of Focus Group Discussions: • To identify criteria • To prioritize and finalizing criteria • To explain scores • To suggest recommendations for improvement • • Needs adequate mix of users and non-users • • Supply side information needed for input tracking • • Performance criteria should be objective • • Evidence is provided for high/low scores – claims are cross checked • • Process tries to facilitate a reform agenda – gives legitimacy, ensures future participation

46. Interface meeting • Prepare both communities • Ensure participation • Show both the community and providers each others’ results • Having an intermediary group helps; can also invite outside people like local government and state officials • Facilitate productive dialogue not arguments • Come up with some concrete reforms • Obtain some commitment for follow-up • Now imagine an interface meeting of FUOYE staff at Ikole and Oye on access to University facilities

47. Interface meeting on supply of mushroom production facilities in Nsukka Agricultural Zone, Enugu State, Nigeria

48. AN INTERFACE MEETING Cont. Source: World Bank 2003

49. Follow-up and Institutionalization: Making an Impact…Using Information • Introducing regular monitoring system • Generating performance benchmarks • Comparing levels of governance • Choosing best level to target funds • Performance based resource allocation • Reducing corruption • Improving Quality of Community Projects

50. Limitations/Caution of the Community Scorecard • It depends a great deal on quality of facilitation • Input tracking dependent on supply side data • Interface can get confrontational • Standardization needed when scaling up • Small sample size can bias perceptions • Scoring is not always applicable to every situation